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Detailed File Audits

15% OFF

File audits are an important element of compliance within a regulated business. They are required to evidence advisers are competent, they also give a very good picture of the overall compliance within the firm, we find firms with good quality files tend to have better overall compliance. Often advisers keep to the same documentation and sales process, if this is non-compliant in any way then all the files will have the same errors. A single file audit can correct this ensuring future files are more compliant. Our file audits include the following:

    • We check every item of paperwork within the file. We see no benefit in part checking files or only reviewing certain documents to give an overview. If your want complete peace of mind, then everything within the file should be checked and cross checked.

    • The file audit includes a review of the documentation issued and used, checking the templates such as the factfind, suitability letter and other in-house templates to establish if they can be improved in anyway to help reduce compliance errors and improve the clarity for the customer and cut any unnecessary paperwork for you

    • A full suitability of advice check as well as checks on TCF and fraud risk.

    • File reports are issued providing both feedback on any errors or shortfalls identified and any corrective action required. The files are then graded using our standard system or alternatively we can accommodate any file grading system you already use to ensure consistency with any in-house checking carried out.



To request your file audit please complete the contact form here and simply request a file audit together with the type of file (mortgage, equity release, insurance). We will then respond to confirm the process and how files can be sent.





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